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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2021-07-21 |
| CO | RA | APPROVED | 2021-07-21 |
| IN | RA | APPROVED | 2021-07-21 |
| KY | RA | APPROVED | 2021-07-21 |
| MI | RA | APPROVED | 2021-07-21 |
| OH | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Ft. Mitchell | KY | 01/2015 | 07/2021 |
| Uber, Inc. | San Francisco | CA | 09/2014 | 07/2021 |
| Various Insurance Carrier For W & R Insurance Agencies | Villa Hills | KY | 03/2015 | 07/2021 |
| John G Carlisle Elementary School | Covington | KY | 10/2016 | 07/2021 |
| Aaron Seyfried | Ft. Mitchell | KY | 01/2018 | 07/2021 |
| Bni Covington, Ky | Covington | KY | 11/2019 | 07/2021 |
| Lpl Financial Llc | Ft. Mitchell | KY | 07/2021 | Present |
1. 07/29/2021 - W&R - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 9/2014-PRESENT, UBER, INC. SAN FRANCISCO, CA, CONTRACTOR, DRIVER, INV-RELATED:N, 40HRS/MO, 1HRS/DAY DURING SECURITIES TRADING HOURS. 3. 11/2019-PRESENT; BNI COVINGTON, KY; COVINGTON, KY; NOT INVESTMENT RELATED; NETWORKING GROUP; EDUCATION COORDINATOR; 12HRS/MO; 1HR/MO DURING SECURITY TRADING HOURS. 4. 09/09/2022 - NKY ATM's - Not Investment Related - 2546 Buttermilk Pike, Villa Hills KY 41017 - Other - NKY ATM's - Founder. Operate ATM - Start Date - 05/01/2022 - 12 Hours Per Month/4 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-03-26 |
| S63 | Uniform Securities Agent State Law Examination | 2013-06-12 |
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